Securities & Futures Commission of Hong Kong

IOSCO EMMOU

In March 2017, IOSCO approved the Enhanced Multilateral Memorandum of Understanding Concerning Consultation and Cooperation and the Exchange of Information (EMMOU), which is built upon the current MMOU

The IOSCO EMMOU provides IOSCO members who are signatories with additional tools to meet the challenges of combating financial misconduct in an increasingly complex, interconnected and technology-driven global financial market.

Under the EMMOU’s framework for mutual assistance and exchange of information, securities regulators can obtain and share audit working papers, telephone and internet records, compel attendance at interviews and provide guidance on freezing of assets.

The MMOU will remain in effect as long as any signatory wishes to use it. IOSCO’s objective is for all MMOU signatories to eventually migrate to the EMMOU.

Signatories to the IOSCO EMMOU are listed below.

Appendix A.1 of the EMMOU listed signatories that are able to obtain and share telephone and internet records, and audit working papers, compel attendance at interviews and provide guidance on freezing of assets.

Appendix A.2 of the EMMOU listed signatories that are able to obtain and share audit working papers, compel attendance at interviews and provide guidance on freezing of assets.

IOSCO EMMOU Appendix A.1 Signatories

Jurisdiction

Authorities

Bahamas, The

Securities Commission of The Bahamas

Canada (British Columbia)

British Columbia Securities Commission

Canada (Ontario)

Ontario Securities Commission

Canada (Quebec)

Autorité des marchés financiers

Hong Kong, China

Securities and Futures Commission 

Singapore

Monetary Authority of Singapore

United States of America

The United States Commodity Futures Trading Commission


IOSCO EMMOU Appendix A.2 Signatories

Jurisdiction

Authorities

Australia

Australian Securities and Investments Commission

United Kingdom

Financial Conduct Authority

Korea, Republic of

Financial Services Commission/Financial Supervisory Service (FSC/FSS)

 

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